U. S. Department of Justice Federal Bureau of Prisons LEGAL RESOURCE GUIDE TO THE FEDERAL BUREAU OF PRISONS 2002
Table of Contents I. INTRODUCTION... - 1 - A. The Bureau's Mission... - 1 - B. This Publication... - 1 - II. THE BUREAU OF PRISONS TODAY... - 2 - A. Population Profile... - 2 - B. The Role of Community Corrections Managers... - 2 - C. District of Columbia Offenders... - 3 - D. The DNA Analysis Backlog Elimination Act of 2000.................. - 3 - III. PRE-TRIAL ISSUES... - 3 - A. Pretrial Detention... - 3 - B. Special Medical Concerns... - 4 - C. Interstate Agreement on Detainers (IAD)... - 4 - D. Mental Illness... - 4-1. Section 4241: Pretrial Mental Evaluations and Commitments... - 5-2. Sections 4242 and 4243: Determination of Insanity at Time of Offense and Commitment Proceedings... - 5-3. Section 4244: Conviction and Pre-sentencing Stage... - 6-4. Section 4245: Post-sentencing treatment... - 7-5. Section 4246: Hospitalization of mentally incompetent person due for release... - 7-6. Application of Chapter 313 Offenders With Mental Defect or Disease.... - 8 - IV. SENTENCING ISSUES... - 12 - A. Intermediate Punishments... - 12-1. Community Confinement... - 12-2. Intermittent Confinement... - 12-3. Home Detention... - 12-4. Intensive Confinement Centers (ICCs)... - 13 - B. Imprisonment... - 13-1. Institutional Confinement... - 13 - Minimum-Security... - 14 - Low-Security... - 14 - Medium-Security... - 14 - High-Security... - 14 - Administrative Maximum... - 14 - Administrative... - 14-2. Service of Sentence in Non-Federal Facilities... - 14-3. Juveniles... - 15 - - i -
C. Judgment and Commitment Orders... - 16-1. Judicial Recommendations for a Specific Institution, Geographic Area, or Specialized Program... - 16-2. Sentence Calculation... - 16-3. Commencement of a Term of Imprisonment... - 17-4. Credit for Prior Custody ( Jail Time )... - 17-5. Credit for Satisfactory Behavior ( Good Time )... - 17-6. Fines and Costs of Confinements... - 18-7. Inmate Financial Responsibility Program... - 19-8. Victim and Witness Notification... - 20 - V. POST CONVICTION ISSUES... - 20 - A. Designation to a Facility for Service of a Term of Imprisonment... - 20-1. Security Designation and Custody Classification System... - 20-2. Information from the Court.......................... - 21-3. Movement to the Institution......................... - 21-4. Central Inmate Monitoring System.................... - 22-5. Separation and Witness Security Cases... - 22 - B. Admission and Orientation Program for Inmates... - 23 - C. Programs and General Services... - 23-1. Education and Recreation Programs... - 23-2. Religious Programs... - 24-3. Food Service... - 24-4. Work Programs and UNICOR... - 24-5. Inmate Accident Compensation... - 25 - (a) Lost-Time Wage Program... - 26 - (b) Other Compensation... - 26-6. Female Offenders... - 26 - (a) Birth Control and Pregnancy... - 26 - (b) Abortion... - 27-7. Drug and Alcohol Treatment Programs... - 28-8. Residential Drug Abuse Program... - 28-9. Urine Surveillance Program.... - 28-10. Medical Services... - 29 - (a) Medical Services available to Sentenced Offenders... - 29 - (b) Specialized Health Care... - 29 - (c) Medical Facilities... - 30 - (d) Voluntary Medical/Mental Treatment... - 31 - (e) Inmates and the Acquired Immune Deficiency Syndrome (AIDS)... - 32 - - ii -
11. Mental Health Counseling and Treatment Services... - 33 - (a) Involuntary Mental Health Treatment... - 34 - (b) Mental Health Programs... - 34 - D. Visiting, Telephones, and Correspondence... - 35-1. Visiting... - 35-2. Telephones... - 36-3. Written Correspondence... - 36 - E. Inmate Discipline Process... - 37 - F. Access to the Courts... - 37-1. Law Libraries... - 37-2. Preparation of Legal Documents... - 38-3. Attorneys... - 38-4. Legal Mail... - 38-5. Unmonitored Legal Telephone Calls... - 39 - G. Administrative Remedy Program... - 39 - H. Personal Property... - 40 - I.. Family Emergencies and Temporary Releases... - 41-1. Furloughs... - 41-2. Escorted Trips... - 42 - J. Release... - 42-1. Early Release from Prison... - 42 - (a) Executive Clemency... - 42 - (b) Compassionate Releases... - 42-2. Parole... - 43-3. Release to the Community after Term of Imprisonment.. - 44-4. Home Confinement... - 44 - Appendix A - Federal Bureau of Prisons Facilities... - 45 - Appendix B - List of Contacts in the Bureau of Prisons... - 58 - - iii -
I. INTRODUCTION Prior to 1930, there were seven federal prisons. Each was separately funded by Congress and operated under policies and procedures established locally by each warden. On May 14, 1930, President Herbert Hoover signed legislation establishing the Federal Bureau of Prisons within the Department of Justice. The Bureau of Prisons was created, in part, to ensure consistent, centralized administration of the Federal Prison System. Today, that system consists of 100 activated institutions, ranging from maximum security penitentiaries to minimum security camps, and a community corrections component that manages programs, services, and facilities in the community. A. The Bureau's Mission The mission of the Bureau of Prisons (BOP) is to protect society by confining offenders in the controlled environments of prison and community based facilities that are safe, humane, cost-efficient, and appropriately secure, and to provide work and other self-improvement opportunities to assist offenders in becoming law-abiding citizens. B. This Publication This publication is intended to serve as a guide to legal resources, including relevant statutes, regulations, program statements (available on the Internet), and current case law on issues that the BOP is facing today. It also provides a general overview of the prison system, its services, and programs. The publication is divided into three sections: (1) Pretrial Issues; (2) Sentencing Issues; and (3) Post- Conviction Issues. The BOP and National Institute of Corrections Internet home-page is located at http://www.bop.gov/. This site provides access to BOP public information, including program statements, a directory of BOP facilities, regional and central offices, inmate locator information, employment information, acquisition information, Freedom of Information Act information, search capability, and links to other relevant Internet sites. Additionally, updated Appendices are included and provide a Facilities Directory (Appendix A) and List of Contact Persons in the BOP (Appendix B). - 1 -
II. THE BUREAU OF PRISONS TODAY A. Population Profile As of October, 2001, BOP inmate population had the following profile: S S S S S S S S S S S 93% were male and 7% female; 56.1% were white, 40.8% black and 3.1% of other races; 31.8% were of Hispanic ethnicity; 70.3% were U.S. citizens; 33.7% were serving sentences less than 5 years; 8.9% were serving sentences over 20 years; 3.4% were serving life sentences; 19 inmates had been sentenced to death; 55.1% were convicted of drug offenses; Average inmate age was 37 years; For FY2001, the average daily cost, without support costs, for maintaining a prisoner in the BOP was $60.75 or $22,174 per year. B. The Role of Community Corrections Managers The BOP contracts with Community Corrections Centers (CCCs) that offer a broad spectrum of programs for low-risk offenders. To oversee these services, the BOP maintains a network of community corrections managers (CCMs) in major cities throughout the country. See Program Statement No. 7300.09, Community Corrections Manual and Appendix B - List of Contact Persons in the BOP. CCMs and their staff have a variety of responsibilities. They are liaisons with the federal judiciary and with officials at all levels of government. They also play a vital role in designating institutions for offenders who receive terms of imprisonment, as well as supervising the services provided to federal offenders in contract facilities. CCMs can answer questions about available facilities and how the specific elements of an offender s case are likely to be considered in the designation decision. Community Corrections staff are also responsible for accurately determining the community corrections and detention needs of inmates in their assigned geographic areas and developing contractual relationships with public and private resources to meet those needs. The arrangements with state and local government agencies are formalized in Intergovernmental Agreements. The contracts for the services of private providers are developed through the government's competitive procurement process. The CCM has broad oversight of all aspects of the agency's community corrections contracts and final authority over most case management decisions relating to offenders in community based programs. Community corrections staff process paperwork concerning escapes and apprehensions and ensure that proper release procedures are used. They also approve or deny driving privileges for offenders in community programs. - 2 -
CCCs are available in almost all geographic areas of the county. In addition, there are some 40 Comprehensive Sanctions Centers (CSCs) throughout the country. CSCs are similar to CCCs in that they both provide correctional supervision and structured release programs for offenders. However, CSCs offer enhanced programming opportunities, a more structured and graduated system of accountability, and formalized team approach to inmate management, which includes participation of the U.S. Probation Office, the BOP and the CSC. C. District of Columbia Code Felony Offenders In August, 1997, Congress passed the National Capital Revitalization and Self-Government Improvement Act of 1997 (D.C. Revitalization Act), Section 11721 of Title XI of Pub. L. 105-33, 111 Stat. 786. The D.C. Revitalization Act obligates the BOP to administer D.C. Code felony terms of imprisonment. See D.C. Code 24-101(a) and (b). The Act requires that D.C. Code felony offenders in BOP custody "shall be subject to any law or regulation applicable to persons committed for violations of laws of the United States consistent with the sentence imposed." Id. Consequently, except as required otherwise by law, and noted elsewhere in this publication, D.C. Code felony offenders in BOP custody are generally treated similar to U.S. Code offenders. For example, similar to U.S. Code offenders, the BOP s goal for D.C. Code offenders is to designate them to institutions within 500 miles of their legal residences. D. The DNA Analysis Backlog Elimination Act of 2000 On December 19, 2000, Congress enacted Public Law 106-546, commonly referred to as The DNA Analysis Backlog Elimination Act of 2000 (The Act). This Act requires the BOP or the responsible probation office to collect DNA samples from individuals who have been convicted of a qualifying federal offense, military offense, or D.C. Code offense. The FBI is required to analyze the samples and maintain the information in the Combined DNA Index System (CODIS). Rules language has been implemented to add pertinent sections of the Act to 28 C.F.R. 28, and to identify the qualifying offenses. The Act provides that inmates who are unwilling to provide a sample may be charged with a class A misdemeanor. III. PRE-TRIAL ISSUES A. Pre-trial Detention The availability of federal detention bedspace is a major concern. The BOP, the U.S. Marshals Service, and the U.S. Immigration and Naturalization Service have been working together, under the direction of the Deputy Attorney General, to alleviate the shortage of detention bedspace. Prioritizing and developing necessary detention resources in key districts and emphasizing appropriately structured community supervision alternatives for non-dangerous offenders has been the primary focus. See 28 C.F.R. 551, Part J, Pretrial Inmates; Program Statement No. 7331.03, Pretrial Inmates. B. Special Medical Concerns - 3 -
The BOP is aware that inmates often contend that their medical condition cannot adequately be treated by the BOP. See, e.g., United States v. Sherman, 53 F.3d 782 (7th Cir. 1995). In reality, either within its institutions or by contracting with physicians and hospitals in the community, there are virtually no medical problems that the BOP health care delivery system cannot respond to adequately. See Program Statement No. 6000.05, Health Services Manual. On-site emergency medical care is available 24 hours a day in all BOP facilities. Inmates whose health care needs exceed those services available in a typical institution may be transferred to a BOP medical referral center in Springfield, Missouri; Rochester, Minnesota; Butner, North Carolina; Carswell, Texas; Lexington, Kentucky; Devens, Massachusetts; or Fort Worth, Texas. Each of these BOP facilities is accredited by the Joint Commission on the Accreditation of Health Care Organizations (JCAHCO). This is the same organization that accredits community health care organizations. When these facilities cannot adequately treat an inmate's condition, the inmate will be sent to a community hospital which is under contract with the BOP. When necessary, air ambulance service is used to transport inmates for urgent treatment. Specialized health care resources are also available at a number of BOP institutions. For example, at least one institution at each security level is wheelchair-accessible. There are also specialized facilities that provide nursing home services for offenders in need of skilled nursing care. These facilities are located at the Federal Medical Center (FMC) Fort Worth, Texas, for males, and the FMC Carswell for females. A later section on Health Care Services in the BOP provides more details on available programs and services. See, infra, Section V - Post Conviction Issues: Medical Services. C. Interstate Agreement on Detainers (IAD) Many prisoners in BOP custody have detainers for unresolved criminal charges pending against them in one or more jurisdictions. To facilitate programming designed for treatment and rehabilitation, and resolution of pending matters, the BOP participates with nearly all states in the Interstate Agreement on Detainers. See 18 U.S.C. App. II; and Program Statement No. 5130.06, Detainers and the Interstate Agreement on Detainers Act. This agreement makes it possible for jurisdictions having an untried indictment, information, or complaint, to secure temporary custody of the inmate in order to bring him (or her) to trial. Such proceedings may be initiated by the state or by the inmate. Program Statement No. 5130.06, delineates the appropriate procedures for treating inmates who have detainers lodged against them by a member state. D. Mental Illness In 1984, as part of sentencing reforms, Congress enacted comprehensive provisions concerning the evaluation and treatment of mentally ill offenders. Title18 U.S.C. 4241-4247 provides the necessary judicial procedures which must take place when an offender appears to be, or is, suffering from a mental disease or defect. See also Program Statement Nos. 6000.05, Health Services Manual, Ch.IX; and 5310.12, Psychology Services Manual, Ch.9. - 4 -
1. Section 4241: Pretrial Mental Evaluations and Commitments Title 18 U.S.C. 4241 explains the procedures necessary to determine the mental competency of a defendant at any time after the commencement of the prosecution and prior to sentencing. If there is reasonable cause to question the defendant's competency, the court will order a hearing upon the motion of one of the parties or upon its own motion. See 18 U.S.C. 4241(a). Prior to the hearing, the court may order the defendant to undergo a psychiatric or psychological examination. See 18 U.S.C. 4241(b). For purposes of an examination, the court may commit the defendant to the custody of the Attorney General for placement in a suitable facility, which includes a BOP facility, to be examined for a reasonable period not to exceed 30 days unless the director of the examining facility requests a reasonable extension, not to exceed 15 days. See 18 U.S.C. 4247(b). After the examination period expires, a report is filed with the court by BOP personnel and copies are provided to counsel. If after the hearing, the court finds by a preponderance of the evidence that the defendant is mentally incompetent, the court must commit the defendant to the custody of the Attorney General for hospitalization and treatment in a suitable facility. This commitment period is for a reasonable period of time, not to exceed four months, to evaluate if there is a substantial probability that in the foreseeable future the defendant will regain competency. See 18 U.S.C. 4241(d)(1). An additional commitment period may be ordered if the charges have not been disposed of and the court determines there is a substantial probability that the defendant will become competent to stand trial in the foreseeable future. See 18 U.S.C. 4241(d)(2). However, the defendant cannot be committed for a determination of his or her competency to stand trial for a period longer than the maximum possible sentence he or she faces. See United States v. DeBellis, 649 F.2d 1 (1st Cir. 1981). If the defendant does become competent to stand trial during the examination period, the warden of the examining facility files a certificate with the court stating the same. A second competency hearing is held and, if the defendant is shown to be competent by a preponderance of the evidence, the trial proceeds. See 18 U.S.C. 4241(e). 2. Sections 4242 and 4243: Determination of Insanity at Time of Offense and Commitment Proceedings Pursuant to 18 U.S.C. 4242, the attorney for the government, after receiving notice that the defendant intends to rely upon the defense of insanity, may ask the court to order the defendant to undergo a psychological or psychiatric examination. Similar to 4241, the 4242 study may be conducted locally or, where incarceration is deemed necessary, in a BOP facility. After the issue of insanity has been raised, the fact finder is required to reach a special verdict of either guilty, not guilty, or not guilty only by reason of insanity. When an offender has been found not guilty only by reason of insanity, a hearing will be conducted no later than forty days after the special verdict. See 18 U.S.C. 4243(c). Please note that while the hearing must take place within 40 days, 4247(b) states that the examination under 4243 may take 45 days. - 5 -
Where the offense involved bodily injury to, or serious damage to the property of another person, or a substantial risk of such injury or damage, the offender bears the burden of proving by clear and convincing evidence that his or her release would not pose a substantial risk of bodily injury to another person or serious damage of property of another. See 18 U.S.C. 4243(d). If the offender fails to meet this standard, he or she will be committed to the custody of the Attorney General. Once committed, the Attorney General will make continuous reasonable efforts to release the offender to the appropriate state in which the offender was domiciled or tried, if the state will assume responsibility for his custody, care, and treatment. Note that the Attorney General has authority to stipulate the terms and conditions under which a federal insanity acquittee will be placed in state custody for care and treatment. See 18 U.S.C. 4243(e). With the inmate's state placement or conditional release, there is a continuing federal interest in these types of cases such that a transferred individual cannot be unconditionally released by the state facility without the concurrence of the committing court. Accordingly, prior to discharge, the director of the state facility must first comply with 18 U.S.C. 4243(f) and notify the committing court of the potential release. The federal court, applying federal standards, decides whether the acquittee will in fact be discharged. See United States v. Husar, 859 F.2d 1494 (D.C. Cir. 1988). 3. Section 4244: Conviction and Pre-sentencing Stage If an offender is found guilty of an offense but a question is raised as to his or her mental condition prior to the time of sentencing, the court may order a psychological or psychiatric examination of the offender and conduct a hearing as to the offender's suitability for placement in an appropriate facility for care and treatment, in lieu of imprisonment. See 18 U.S.C. 4244(a). If, after the hearing, the court finds by a preponderance of the evidence that such placement is appropriate, the defendant will be provisionally sentenced to the maximum term authorized by law and committed to the custody of the Attorney General for hospitalization in a suitable facility. See 18 U.S.C. 4244(d). If the defendant recovers to the extent that he or she is no longer in need of care and treatment, then he or she will proceed to final sentencing, with the court having the option of modifying the provisional sentence. Commitment under 4244 is to the custody of the Attorney General which, given current resources, means the defendant will be placed in a mental health unit within a federal prison. While the statute envisions "commitment in lieu of imprisonment, the 4244 defendant actually faces indefinite commitment to a prison mental health unit; whereas, if he or she proceeds to final sentencing, there will be a definite term of incarceration and the opportunity under 4245 to receive necessary treatment. A defense counsel's decision to invoke 4244 may result in a period of hospitalization longer than that which was possible had the defendant received a final sentence. 4. Section 4245: Post-sentencing Treatment Title 18 U.S.C. 4245 provides for hospitalization and treatment of sentenced inmates found to be suffering from a mental disease or defect. If an inmate refuses to consent to hospitalization for care and treatment, section 4245 provides the method for involuntary hospitalization. - 6 -
The court may order that an inmate be hospitalized for care or treatment if, after a hearing, the court finds by a preponderance of the evidence that the inmate is suffering from a mental disease or defect for the treatment of which he or she is in need of hospitalization. See 18 U.S.C. 4245(d). Section 4245(e) provides that the commitment may be discharged upon certification from the warden that the inmate has recovered to an extent that he or she is no longer in need of hospitalization, or upon the expiration of the sentence of imprisonment. 5. Section 4246: Hospitalization of Mentally Incompetent Person Due for Release Title 18 U.S.C. 4246 provides for the commitment and hospitalization of an inmate due for release that is found to be suffering from a mental disease or defect as a result of which his release would create a substantial risk of bodily injury to another person or serious damage the property of another. If the warden of a BOP medical facility certifies that the inmate meets the standards set forth in 4246(a), he or she will file such certificate with the clerk of court. The certificate must also certify that suitable arrangements for state custody and care are unavailable. Defendants found not competent and not restorable to stand trial under 4241(d) are also subject to the provisions of 4246 if they met the criteria for commitment. Once the certificate has been filed, the offender's release is stayed. The clerk of the court will send a copy of the certificate to the offender, the attorney for the government and, if the person was committed under 4241(d), to the committing court. See 18 U.S.C. 4246(a). The court will order a hearing to determine whether by clear and convincing evidence, the person suffers from a mental disease or defect such that his or her release would create a substantial risk of bodily injury or serious damage to property. If sufficient evidence exists, the court will commit the person to the custody of the Attorney General. See 18 U.S.C. 4246(d). The Attorney General will make continuous reasonable efforts to release the person to the appropriate official of the state in which the person is domiciled or was tried. If the state refuses to assume responsibility for the offender's custody, care, and treatment the Attorney General will hospitalize the person for treatment in a suitable BOP facility until the state will assume such responsibility or until the person's mental condition is such that his or her full release, or conditional release, would not pose a substantial risk of injury to other persons or damage to property. The warden of the BOP medical facility may initiate discharge proceedings in accordance with 4246(e), or counsel for the inmate may seek discharge by filing a motion for a hearing. A motion by counsel for the inmate seeking discharge may only be filed after 180 days from the date the court ordered hospitalization or continuance of the hospitalization. See 18 U.S.C. 4247(h). The BOP takes the position that its mental health staff are functioning as court officers in conducting these mental health examinations and, as such, their actions assisting the court order should be shielded by absolute immunity. See McArdle v. Tronetti, 961 F.2d 1083 (3rd Cir. 1992); Turney v. O'Toole, 898 F.2d 1470, 1472-73 (l0th Cir. 1990); In re Hannon, 425 F.2d 916 (1st Cir. 1970) (order makes psychiatrist officer of the court). See also Program Statement No. 6000.05, Health Services Manual, Ch.IX, 15 (BOP staff must at all times maintain the stance that they are working for the court in 4241(a) and 4242 cases and maintain neutrality). - 7 -
6. Application of Chapter 313 Offenders With Mental Defect or Disease The table that follows illustrates the operation of 18 U.S.C. Ch. 313. STATUTORY SECTION ROLE OF THE ATTORNEY GENERAL AND THE BUREAU OF PRISONS ROLE OF STATE/LOCAL GOVERNMENT OR AGENCIES Pretrial Pretrial Pretrial 4241(a),(b),(c) Examination to determine defendant's competency to stand trial. The defendant may be committed for a reasonable period (not to exceed 30 days) for examination; the court may approve a 15-day extension. The examination will be conducted at the nearest BOP facility, if practicable. The court may permit a psychiatrist or psychologist in the community to conduct the examination. This is particularly appropriate if the defendant is on bond. The BOP will not cover the cost of an examination conducted in the community. 4241(d) Determination whether the defendant will attain competency. If incompetent, the defendant must be committed for a reasonable period of time (not to exceed 4 months) for treatment to regain competency. See United States v. Shawar, 865 F.2d 856 (7th Cir. 1989). The defendant may be committed for an additional reasonable period until either the defendant attains competency or until charges are dropped. See United States v. Baker, 807 F.2d 1315 (6th Cir. 1986). The director of the facility must determine whether the defendant is suffering from mental disease or defect such that releasing him or her would pose a substantial threat of harm to others. If so, the director must file a 4246(a) certificate. See United States v. Wheeler, 744 F. Supp. 633 (E.D. Pa. 1990). The director of the facility must file reports biannually regarding the defendant's progress. - 8 -
STATUTORY SECTION ROLE OF THE ATTORNEY GENERAL AND THE BUREAU OF PRISONS ROLE OF STATE/LOCAL GOVERNMENT OR AGENCIES Pretrial Pretrial Pretrial 4242 Examination of a defendant who intends to rely on the defense of insanity. Where the defendant is competent, only he or she may raise a defense of insanity. See United States v. Marble, 940 F.2d 1543 (D.C. Cir. 1991). The defendant may be committed for a reasonable period (not to exceed 30 days) for examination; the court may approve a 15-day extension. The examination will be conducted at the nearest BOP facility if practicable. The court may permit a psychiatrist or psychologist in the community to conduct the examination. This method is particularly useful if the defendant is out on bond. See In re Newchurch, 807 F.2d 404 (5th Cir. 1986). The BOP will not cover the cost of an examination conducted in the community. - 9 -
STATUTORY SECTION ROLE OF THE ATTORNEY GENERAL AND THE BUREAU OF PRISONS ROLE OF STATE/LOCAL GOVERNMENT OR AGENCIES Post-trial Post-trial Post-trial 4243(a) The defendant is found not guilty by reason of insanity. The acquittee must be committed to a suitable facility, including a BOP facility, for examination to determine if his or her release would create a substantial risk of harm to others. The acquittee must be committed to a suitable facility. The Attorney General may seek civil commitment under State law. See 18 U.S.C. 4247(i)(B). 4243(e) The Court determines that releasing the acquittee would create substantial risk of harm to others. The acquittee must be committed to the custody of the Attorney General. The acquittee will remain hospitalized until the Attorney General is able to arrange for release to the State where the acquittee was domiciled (or tried) for treatment and care, or until the acquittee's condition has improved such that release would no longer pose a risk of harm to others. The director of the facility must file annual reports regarding the acquittee's condition. See 18 U.S.C. 4247(e). The State may agree to assume responsibility for care and treatment of the acquittee; this includes assuming all financial responsibility. The director of the facility must file annual reports with the court regarding the acquittee's condition. See 18 U.S.C. 4247(e). NOTE: The State may not release the acquittee without an order from the committing court. See United States v. Husar, 859 F.2d 1494 (D.C. Cir. 1988). 4243(f) The director of the facility determines that the acquittee should be released. The director of the facility must file with the court a certificate stating that the acquittee is ready to be released conditionally or unconditionally. The acquittee may not be released without court order. The director of the facility must file, with the court, a certificate stating that the acquittee is ready to be released. The acquittee may not be released without a court order. See United States v. Husar, 859 F.2d 1494 (D.C. Cir. 1988). 4244(a) Determination whether the convicted person is suffering from mental disease or defect. The defendant may be committed for a reasonable time (not to exceed 30 days) for examination. The examination will be conducted at the nearest BOP facility if practicable. The court may permit a psychiatrist or psychologist in the community to conduct the examination. The BOP will not cover the cost of an examination conducted in the community. - 10 -
STATUTORY SECTION ROLE OF THE ATTORNEY GENERAL AND THE BUREAU OF PRISONS ROLE OF STATE/LOCAL GOVERNMENT OR AGENCIES Post-trial Post-trial Post-trial 4244(d) A convicted defendant who is suffering from mental disease or defect. The defendant must be committed for hospitalization in a suitable facility under a provisional sentence. The director of the facility must file annual reports regarding the defendant's condition. See 18 U.S.C. 4247(e). When the defendant no longer suffers from a disease or defect, the director shall file a certificate with the court; the court may modify the provisional sentence. 4245 An inmate suffering from mental disease or defect who refuses transfer to a more suitable facility. The inmate may be hospitalized only after a court order (the court may order an examination pursuant to 4247(b) prior to holding a hearing on the question of transfer). 4246(a) An inmate who is due for release but continues to suffer from mental disease or defect. 4246(d) An inmate who cannot be released because a mental condition creates risk of harm to others. The director of the facility may file a certificate with the court if, solely because of the person's mental condition, his or her release would create substantial risk of injury to others. The inmate shall be committed until the State will assume responsibility for the inmate or the person's condition improves such that release would not create a risk of harm to others. The Attorney General shall try to make arrangements for the State to assume responsibility for the inmate's care and treatment. The State may agree to assume responsibility for the care and treatment of the person. The Attorney General may seek civil commitment under State law. See 18 U.S.C. 4247(i)(B). NOTE: 18 U.S.C. 4247(i)(A) authorizes the Attorney General to contract with states, locality, or private agency for the confinement, hospitalization, or treatment of a person committed pursuant to Chapter 313. - 11 -
IV. SENTENCING ISSUES The U.S. Sentencing Commission has published, pursuant to 28 U.S.C. 991-998, guidelines that provide a general framework for sentencing. Below is a discussion of the most frequently used sanctions available in the federal criminal justice system, with particular emphasis on those administered by the BOP. A. Intermediate Punishments Recognizing the need for alternatives to traditional confinement, the BOP provides a broad range of intermediate punishments. Intermediate sanctions offer the necessary level of public protection and provide offenders with the structure they need while serving their sentences. 1. Community Confinement Inmates may be sentenced to "community confinement," as a condition of probation which is defined as residence "in a community treatment center, halfway house or similar facility. 18 U.S.C. 3563(11). Federally contracted halfway houses, or Community Corrections Centers (CCCs), have been made available by the BOP for use by the courts. The CCC program is described in more detail below, but offenders sentenced to community confinement are placed in the most restrictive component of the CCC and have limited access to the community. CCCs are available for both male and female offenders. See Program Statement No. 7300.09, Community Corrections Manual. Also, in lieu of revocation of probation or supervised release for technical violations, the courts may place an offender in a CCC as a condition of supervision. Federally contracted CCCs are available for this purpose. 2. Intermittent Confinement Weekend terms and other forms of intermittent confinement may be imposed as conditions of probation. 18 U.S.C. 3563(b)(10) and U.S.S.G. 5C1.1(c)(3). In most instances, BOP or contract detention facilities are used for this purpose, but confinement in a CCC also is permissible. 3. Home Detention The sentencing guidelines (U.S.S.G. 5C1.1) allow home detention as a substitute for imprisonment in certain instances. Ordinarily, inmates on home detention are electronically monitored through services contracted by the Administrative Office of the United States Courts. The BOP is not normally involved in the home detention program for probationers and supervised releasees. 4. Intensive Confinement Centers (ICCs) The BOP operates minimum-security Intensive Confinement Centers (ICCs) in Lewisburg, Pennsylvania; Lompoc, California (for male inmates); and Bryan, Texas (for female inmates). These - 12 -
centers have some features of a correctional "boot camp" operation, as well as a community-based phase. Participation in an ICC program may be recommended by the sentencing court. The BOP s authority to operate this program is found at 18 U.S.C. 3621 and 4046. See Program Statement No. 5390.08, Intensive Confinement Center Program. Eligible participants must be minimumsecurity offenders who have not previously been incarcerated (or who have minor histories of prior incarceration) and who consent to participate in the program. The institutional phase of the ICC program lasts six months and is individualized for each offender. Structured periods of physical training, work, education, and drug counseling are part of each day's activities; amenities are limited. Drug treatment is prominent in the ICC curriculum. This facet of the program includes education, counseling, and other state-of-the-art strategies, all designed to offer motivated offenders the opportunity to gain skills, knowledge, and personal strengths that will enable them to abstain from drugs. Close staff supervision is provided at the ICCs. All discipline is handled in accordance with current BOP policy that provides necessary due process safeguards. A lengthy period of community corrections center placement typically follows completion of the institutional phase of the ICC program. In cases where a need for drug treatment has been identified during the ICC phase, community corrections centers continue programming initiated in the ICC. Participants gradually move through less restrictive phases in the community until they are eventually placed on home confinement. B. Imprisonment For many offenders, imprisonment (18 U.S.C., Ch.227, Subchapter D) may be the appropriate sanction. The BOP maintains a safe and humane correctional environment for offenders who require incarceration. For offenders receiving terms of imprisonment, it is critical for the BOP to receive a comprehensive Presentence Investigation Report. This document provides much of the information which is the basis for decisionmaking on designations, security levels, custody classifications, and programs. 1. Institutional Confinement Title 18 U.S.C. 3621(a) gives the BOP authority to confine persons sentenced to a term of imprisonment. To accomplish this goal, BOP institutions span a broad range of security levels and types of physical plants. Institution security levels are determined by factors such as type of perimeter, number of towers or external patrols, detection devices, security of housing areas, type of living quarters, and level of staffing. Types of facilities within the BOP are listed below. Minimum-Security Federal Prison Camps have dormitory housing, a relatively low staff-to-inmate ratio, and no fences. These institutions are work- and program-oriented, and many are located adjacent to larger institutions or on military bases, where inmates help serve the labor needs of the of the parent institution or base. - 13 -
Low-Security Low-security Federal Correctional Institutions (FCIs) typically have double-fenced perimeters, mostly dormitory housing, and strong work and program components. The staff-to-inmate ratio in these institutions is higher than in minimum-security facilities. Medium-Security Medium-security FCIs have strengthened perimeters (often double fences with electronic detection systems, vehicle patrols, and in some cases armed observation towers), cell-type housing, and an even higher staff-to-inmate ratio than low-security institutions, thus providing even greater internal controls. High-Security United States Penitentiaries have highly secure, vehicle-patrolled perimeters (either walled or double-fenced, outfitted with electronic detection devices and armed observation towers), multiple and single occupant cell housing, and close staff supervision and movement controls. Administrative Maximum The Administrative Maximum Facility (ADX), in Florence, Colorado, is the first specifically designed maximum security facility built by the BOP. The facility embodies the numerous design features of the high security facilities and a higher staff-to-inmate ratio. These factors greatly facilitate safer inmate movement, program participation, and staff-inmate interaction in a more secure setting. Administrative These are institutions such as Metropolitan Detention Centers, Metropolitan Correctional Centers, the Federal Transfer Center, and Medical Referral Centers which have special missions and hold inmates of all security levels. 2. Service of Sentence in Non-Federal Facilities The BOP maintains contracts with local jails and detention centers to augment its capacity to confine offenders serving sentences of a year or less. These facilities may also be used for offenders sentenced to terms of intermittent confinement as a condition of probation, such as nights, weekends, or other short intervals. The BOP also maintains contracts with some state correctional facilities in which some long-term federal offenders are held. Offenders are occasionally transferred to state facilities when they present special management problems, such as needing extensive protection due to their notoriety, thereby precluding safe incarceration in any BOP facility. Offenders may also be designated to state correctional facilities for service of a federal sentence. See Program Statement No. 5160.04, State Institution for Service of Federal Sentence, Designation of. - 14 -
3. Juveniles Federal prosecution of juveniles is governed by the Federal Juvenile Justice and Delinquency Prevention Act (JJDPA), 18 U.S.C. 5031-5042. See also Program Statement No. 5216.05, Federal Juvenile Justice and Delinquency Prevention Act (JJDPA). This statute deals with the prosecution of a defendant who has not reached his or her 18th birthday and any inmate sentenced under the JJDPA as a juvenile delinquent. This statute generally prohibits housing juveniles with adult offenders, and given the very small number of federal juveniles, operation of a separate BOP facility for this population is not practical. Therefore, generally the BOP contracts for placement of these offenders in state and local facilities. The JJDPA deals with three categories of inmates, with BOP treatment of each group differing as follows: Confinement of a Person Under 18 - Any inmate who has not attained his or her 18th birthday will be placed in a non-federal juvenile facility. Title 18 U.S.C. 5039 states that "no juvenile committed to the custody of the Attorney General may be placed or retained in an adult jail or correctional institution in which he has regular contact with adults incarcerated because they have been convicted of a crime or are awaiting trial on criminal charges." Generally, the BOP attempts to place such inmates in a communitybased juvenile facility located in or near the home community. Confinement of 18-to-21 Year-Old Juveniles - An inmate who is sentenced as an adult pursuant to 18 U.S.C. 5032 shall be designated to an adult institution according to normal designation criteria. An inmate who is sentenced as a juvenile will be treated like a person under 18 years of age, unless he or she has a concurrent federal adult sentence whose length is equal to or greater than the juvenile sentence. If there is a concurrent federal sentence equal to or greater in length than the juvenile sentence, the inmate will be housed in an adult facility and the court imposing the juvenile sentence will be notified of this fact. If an inmate sentenced as a juvenile also has a consecutive adult sentence, he or she will be treated as a person under the age of 18 until the expiration of the juvenile sentence, or in some instances, until he or she has reached the age of 21. Those Who Turn 21 While Serving a JJDPA Sentence - Regardless of the procedure under which the inmate was sentenced, an inmate who has attained his or her 21st birthday may in some cases be designated to a BOP institution as an adult. An inmate will usually be transferred to an adult facility when there is no objection from the court that imposed the juvenile sentence and where such a transfer will not interfere with crucial inmate programming. C. Judgment and Commitment Orders The BOP is charged with interpreting and enforcing Judgment and Commitment (J&C) Orders. The following sections address issues which frequently arise. - 15 -
1. Judicial Recommendations for a Specific Institution, Geographic Area, or Specialized Program BOP authority to designate the place of confinement for federal prisoners comes from 18 U.S.C. 3621. This statute requires the BOP to consider the type of offense, the length of sentence, the defendant's age, the defendant's release residence, the need for medical or other special treatment, and any placement recommendation made by the court. Initial designation decisions, and decisions to transfer prisoners from one facility to another, are ultimately the responsibility of the BOP, and are made in accordance with Program Statement No. 5100.07, Security Designation and Custody Classification Manual. See also McCarthy v. Doe, 146 F.3d 118 (2d Cir. 1998); Cohen v. United States, 151 F.3d 1338 (11th Cir. 1998); United States v. Pineyro, 112 F.3d 43 (2d Cir. 1997); Barden v. Keohane, 921 F.2d 476, 481-82 (3d Cir.1990). The BOP often receives J&C Orders indicating the sentencing Court s preference for a specific institution, geographic area, or specialized program. Every effort is made to fulfill the Court s request. However, a conflict with BOP policy and or sound correctional management may prevent compliance. In such cases, Program Statement No. 5070.10, Judicial Recommendations and U.S. Attorney Reports, Responses to, requires BOP staff to respond to the Court in writing and explain the circumstances which prevent compliance. Prior to finalizing plea agreements or other concessions affecting a defendant s conditions of confinement, it is important for the parties involved to consult and verify with BOP regional counsels offices that specific conditions of confinement or programs are possible. 2. Sentence Calculation The BOP, through its Inmate Systems Management (ISM) staff, is responsible for calculating federal terms of imprisonment. See United States v. Wilson, 503 U.S. 329 (1992). BOP policies instructing staff how to calculate terms of imprisonment are complicated and immense. See Program Statement Nos. 5880.28, Sentence Computation Manual (CCCA of 1984); 5880.30, Sentence Computation Manual ("Old Law"-Pre-CCCA-1984); 5110.14, Administration of Sentence for Military and Coast Guard Inmates; 5880.32, District of Columbia Sentence Computation Manual. Specific questions related to sentence calculation should be directed to BOP regional counsels offices. Prisoners challenging the calculation of a particular sentence do so by filing a Petition for Writ of Habeas Corpus pursuant to 28 U.S.C. 2241, and only in the U.S. District Court possessing personal jurisdiction over their immediate custodian (warden). See, e.g., Chatman-Bey v. Thornburgh, 864 F.2d 804 (D.C. Cir. 1988) (en banc). Inmates are required to exhaust their administrative remedies with the BOP prior to seeking judicial relief. See Porter v. Nussle, 122 S.Ct. 983 (2002). See also, Program Statement No. 1330.13, Administrative Remedy Program. Occasionally, J&C orders indicate the defendant s term of imprisonment shall be calculated in a manner contrary to law. In such instances, the sentencing Court shall be alerted by correspondence from the U.S. Attorney s Office or the BOP directly. The following are examples of issues frequently encountered. - 16 -
3. Commencement of a Term of Imprisonment Title 18 U.S.C. 3585(a) dictates that [a] sentence to a term of imprisonment commences on the date the defendant is received in custody awaiting transportation to, or arrives voluntarily to commence service of sentence at, the official detention facility at which the sentence is to be served. Consequently, J&C Orders that indicate a defendant s term of imprisonment shall commence at a date earlier than its date of imposition, or some other date, are viewed by the BOP as contrary to statute. See United States v. Labeille-Soto, 163 F.3d 93 (2d Cir. 1998); Werber v. United States, 149 F.3d 172, 179 (2d Cir. 1998); United States v. Evans, 159 F.3d 908, 911 (4th Cir. 1998); United States v. Pineyro, 112 F.3d 43, 45 (2d Cir. 1997). 4. Credit for Prior Custody ( Jail Time ) Title 18 U.S.C. 3585(b) dictates the method of calculating credit for prior custody of defendants whose offense was committed on or after November 1, 1987. Sentence credit is awarded for any time spent in official detention prior to the date a term of imprisonment commences, provided it was served as a result of the offense for which the sentence was imposed, or as a result of any offense (state or federal) for which the defendant was arrested after committing the offense for which the federal sentence was imposed. Id. Additionally, the time must not have been credited against any other sentence. Id. Slightly different rules apply for defendants whose date of offense is prior to November 1, 1987. See 18 U.S.C. 3568 (repealed). After a defendant is sentenced, the BOP is responsible for determining what period(s) of prior custody may be credited toward the federal term of imprisonment. See Werber v. United States, 149 F.3d 172, 179 (2d Cir. 1998); United States v. Wilson, 503 U.S. 329 (1992). Periods spent on pretrial release, no matter how restrictive, cannot be awarded as prior custody credit to U.S. Code offenders. See Reno v. Koray, 515 U.S. 50 (1995). D.C. Code felony offenders may be entitled to such credit. See Program Statement No. 5880.32, District of Columbia Sentence Computation Manual. Consequently, J&C Orders must be carefully drafted to avoid requiring prior custody credit awards in circumstances which are contrary to statute. 5. Credit for Satisfactory Behavior ( Good Time ) For U.S. Code offenders whose offense was committed on or after November 1, 1987, and D.C. Code offenders whose offense was committed on or after August 5, 2000, 18 U.S.C. 3624(b) provides good conduct time credit for appropriate behavior. Under that provision, inmates serving sentences greater than one year, but less than life, may receive up to 54 days sentence credit per year served. Id. Inmates sanctioned for violating prison disciplinary rules may lose all or part of their annual award. See Program Statement No. 5270.07, Discipline and Special Housing Units. Sentence credit for satisfactory behavior by U.S. Code offenders whose offense was committed prior to November 1, 1987, is governed by 18 U.S.C. 4161-4166 (repealed). Until 1987, such defendants were eligible to accrue both statutory good time ( 4161) and extra good time ( 4162). - 17 -
Statutory good time may be forfeited in whole or in part if the prisoner violates institution rules or commits any offense. See 18 U.S.C. 4165. For inmates whose offense is committed on or after November 1, 1987, 3624(b) allows 54 days of credit "at the end of each year of his term of imprisonment." However, this does not mean that inmates serve only 311 days for every year of imprisonment imposed. For example, consider the case of an inmate sentenced to a 3-year term of imprisonment on January 1, 1992. On January 1, 1993, the inmate receives 54 days good conduct time, leaving 676 days remaining in his or her sentence (2 years minus 54 days). On January 1, 1994, the inmate receives another 54 days of good conduct time, leaving 257 days remaining in his or her sentence (1 year minus 108 days). The inmate will not earn another 54 days of good conduct time against his or her sentence after January 1, 1994, because he or she does not have 365 days remaining to serve. Instead, the final award of good conduct time will be prorated for the final 257days, resulting in an award of 33 days. The total deduction against the sentence in this case is 141 days (54+54+33), not 162 (54+54+54). In light of the mathematics involved, sentencing courts must be very specific in wording the J&C Order. Defendants sentenced to a 1 year term of imprisonment will actually serve 1 year without the benefit of any good conduct time credit. On the other hand, defendants sentenced to a 1 year and 1 day term of imprisonment will receive credit for satisfactory behavior and actually serve less than 1 year. Assistance in wording J&C Orders, so as to effect the Court s intention, if possible, is available from BOP regional counsels offices. 6. Fines and Costs of Confinements Pursuant to U.S.S.G. 5E1.2., the court shall impose a fine in all cases unless the defendant lacks the necessary financial resources to make payments. For offenses committed on or after November 1, 1987, the court cannot require that any fine imposed be paid as a precondition for release from imprisonment. This is a change from prior law, which permitted the court to order the defendant to remain in prison until the fine is paid unless and until a determination was made that the defendant was indigent or otherwise unable to pay the fine. See 18 U.S.C. 3565, 3569; Program Statement No. 5882.03, Fines and Costs for Old Law Inmates. Nevertheless, pursuant to 18 U.S.C. 3624(e), the defendant must agree to adhere to an installment schedule prior to being released for the supervision portion of his or her sentence. See 18 U.S.C. 3624(e); Ross v. Thompson, 927 F.Supp. 956 (N.D.W.Va. 1996), aff d, 105 F.3d 648 (4th Cir. 1997). The Application Notes to the Sentencing Guidelines refer the court to the BOP and the Administrative Office of the U.S. Courts for assistance in determining an appropriate fine. The BOP can furnish the court with the average cost of confinement at all facilities, either through the Office of General Counsel located in Washington, D.C., or through one of the six regional offices. The average cost across all facilities is used because an inmate may be held in several different facilities during a single term of imprisonment. For prisoners who did not receive a fine from the court to cover the costs of incarceration, and for whom the court did not waive the fine due to indigence, the BOP is authorized to collect a fee equal to the cost of one year of imprisonment or a prorated amount if the defendant is sentenced to a shorter term. See P.L. 102-395, Sec. 111 (18 U.S.C. 4001 (note)); Program Statement 5380.06, Cost of Incarceration Fee (COIF). - 18 -